Supplier Approval Program
Document Control
| Field |
Value |
| Document ID |
FS-SUP-001 |
| Version |
2.2 |
| Effective Date |
2026-01-10 |
| Owner |
Procurement Manager |
| Approver |
Food Safety Team Leader |
| Review Frequency |
Annual |
1. Supplier Approval Criteria
1.1 Scope
All suppliers of raw materials (including primary ingredients, processing aids, packaging materials, and cleaning chemicals) must undergo formal approval before the first delivery is accepted.
1.2 Minimum Requirements for Approval
Before a supplier is added to the Approved Supplier List (ASL), the following criteria must be met:
| # |
Criterion |
Requirement |
Evidence |
| 1 |
Legal status |
Registered business entity in country of origin |
Business registration certificate, tax ID |
| 2 |
Food safety certification |
GFSI-benchmarked certification preferred (BRCGS, FSSC 22000, IFS, SQF) |
Valid certificate (no more than 12 months old) |
| 3 |
Food safety management system |
Documented HACCP / food safety plan |
HACCP plan summary, CCP records |
| 4 |
Allergen management |
Documented allergen control program |
Allergen questionnaire + declaration |
| 5 |
Traceability |
Lot traceability system one-back/one-forward |
Traceability procedure + mock recall records |
| 6 |
Supplier auditing |
Internal audit program for their suppliers |
Audit schedule + recent reports |
| 7 |
Product specifications |
Full technical specification for supplied material |
Signed spec sheet |
| 8 |
Regulatory compliance |
Compliance with applicable food law in country of origin and destination |
Declaration of compliance |
| 9 |
Testing |
Finished product testing program |
Test method summaries, annual certificate of analysis |
| 10 |
Insurance |
Product liability insurance |
Certificate of insurance (min €2M coverage) |
2. Risk Categorisation
2.1 Risk Matrix
Suppliers are categorised based on the food safety risk of the raw material they supply.
| Risk Category |
Definition |
Examples |
Review Frequency |
| High |
Raw material that directly enters the finished product and presents a significant food safety risk (allergens, contaminants, microbiological) |
Raw flaxseed, sesame seeds, mustard seeds, celery seeds, soy lecithin |
Annual on-site audit + quarterly performance review |
| Medium |
Raw material that directly enters the finished product but presents moderate risk; or processing aids with known risk |
Packaging inks, lubricants (food-grade), spices, oils (refined) |
Biennial audit (can be remote if certified) + semi-annual performance review |
| Low |
Raw materials with low food safety risk (packaging, non-food items) |
Cardboard boxes, plastic bags, pallets, cleaning tools |
Triennial audit (desktop/remote) + annual performance review |
2.2 Risk Scoring Methodology
Suppliers are scored on 5 dimensions (each 1–5), summed for a total risk score.
| Dimension |
1 (Low Risk) |
3 (Medium Risk) |
5 (High Risk) |
| Raw material type |
Packaging only |
Processing aid, minor ingredient |
Primary ingredient, allergen-containing |
| Food safety certification |
Certified (BRCGS AA/FSSC) |
Certified (BRCGS B or equivalent) |
Not certified |
| Supplier location |
EU/UK — low food safety risk country |
EU/UK — standard risk |
Third country — elevated risk |
| Historical performance |
Zero non-conformances in 12 months |
1–2 minor non-conformances |
> 2 non-conformances or any major |
| Allergen risk |
No allergens handled |
Allergens in facility but segregated |
Shared lines with allergens |
Scoring:
- 13–25: High risk
- 8–12: Medium risk
- 5–7: Low risk
3. Approval Process
3.1 Process Flow
Step 1: Pre-Screening
│
├── Supplier identified by Procurement
├── Initial desktop review (legal, certification, spec sheet)
└── Go / No-Go decision (Procurement + QA)
│
├── Go ──> Step 2
└── No-Go ──> Supplier not pursued (documented)
Step 2: Supplier Questionnaire
│
├── Supplier completes Food Safety Questionnaire (FS-SUP-F01)
├── Provides supporting documents (certificates, declarations)
└── QA reviews completeness (≤ 10 working days)
Step 3: Document Review
│
├── QA reviews: HACCP, allergen, traceability, testing, GMP
├── Score questionnaire (pass threshold ≥ 80%)
└── If < 80%: request re-submission or consider rejection
Step 4: Initial Audit (if applicable)
│
├── High risk: on-site audit mandatory
├── Medium risk: on-site or remote audit
├── Low risk: desktop review sufficient
└── Audit report (FS-SUP-F02) with score and findings
Step 5: Approval Decision
│
├── Approval Committee: Procurement + QA + Food Safety Team Leader
├── Decision: Approved, Approved with Conditions, or Rejected
└── Added to Approved Supplier List (ASL)
Step 6: Ongoing Monitoring
│
├── Performance reviews at prescribed frequency
├── KPI scorecard (Section 5)
└── Audit at prescribed frequency
3.2 Approval Decision Criteria
| Score (Questionnaire + Audit) |
Decision |
Conditions |
| ≥ 85% |
Approved |
Full approval for 12 months |
| 70–84% |
Approved with Conditions |
Corrective actions required within 30 days; re-verification before next order |
| < 70% |
Rejected |
Supplier ineligible; can re-apply after 6 months with corrective evidence |
3.3 Temporary / Conditional Approval
- Emergency supply situations (single sourcing): Conditional approval valid for 3 months.
- Conditional approval requires: completed questionnaire, COA, and declaration of compliance.
- Supplier must complete full approval within 3 months or be removed from ASL.
4. Supplier Audit Frequency
4.1 Audit Schedule
| Risk Category |
Audit Type |
Frequency |
Max Interval |
Audit Days |
| High |
On-site (full) |
Annual |
12 months + 1 month grace |
1.5–2 days |
| Medium |
On-site or remote |
Biennial |
24 months + 1 month grace |
1 day (on-site) or 0.5 day (remote) |
| Low |
Desktop / document review |
Triennial |
36 months + 1 month grace |
Half-day |
4.2 Remote Audit Protocol
For medium-risk suppliers where on-site audit is not feasible, a remote audit may be conducted via:
- Live video walkthrough (production, storage, laboratory)
- Real-time document sharing (e.g., camera view of batch records, cleaning logs)
- Staff interviews via video call
- Full file review (uploaded ahead of time)
4.3 Audit Scope
| Audit Element |
High |
Medium |
Low |
| HACCP review |
✓ |
✓ |
✓ (summary) |
| GMP / hygiene observation |
✓ |
✓ |
✓ (desktop) |
| Allergen management |
✓ |
✓ |
— |
| Traceability exercise |
✓ |
✓ (mock) |
— |
| SSOP / cleaning validation |
✓ |
✓ |
— |
| Calibration records |
✓ |
✓ |
— |
| Training records |
✓ |
✓ |
✓ |
| Pest control |
✓ |
✓ |
— |
| Complaint handling |
✓ |
✓ |
— |
| Testing / laboratory records |
✓ |
✓ |
— |
| Storage / warehouse conditions |
✓ |
✓ |
— |
| Transport conditions (if supplier delivers) |
✓ |
— |
— |
| Supplier's own supplier management |
✓ |
— |
— |
4.4 Audit Scoring
| Score |
Classification |
Outcome |
| ≥ 90% |
Excellent |
Full certification, reduce frequency to 18 months if trend maintained |
| 75–89% |
Good |
Standard approval maintained |
| 60–74% |
Satisfactory |
Formal CAPA required within 30 days |
| < 60% |
Unsatisfactory |
Probation / suspension from ASL; re-audit within 90 days |
5. Supplier KPI Scorecard
5.1 Scorecard Dimensions
| Dimension |
Weight |
KPI |
Target |
Scoring Method |
| Quality |
40% |
Incoming non-conformance rate |
≤ 2% of deliveries |
% of deliveries with NC = weighted against target |
| Quality |
40% (cont.) |
COA accuracy / completeness |
100% per delivery |
Score = % of COAs fully compliant |
| Quality |
40% (cont.) |
Audit score (most recent) |
≥ 75% |
Actual score × weight |
| Delivery |
25% |
On-time delivery rate |
≥ 95% |
% of deliveries on or before agreed date |
| Delivery |
25% (cont.) |
Order fulfilment accuracy |
≥ 99% |
% correct product + quantity |
| Service |
20% |
Complaint response time |
≤ 48 hours (initial response) |
Average response time scored against target |
| Service |
20% (cont.) |
CAPA closure time |
≤ 30 days per CAPA |
% closed within 30 days |
| Compliance |
15% |
Certification validity |
Always valid |
Points deducted for any lapse |
| Compliance |
15% (cont.) |
Change notification compliance |
100% (30-day pre-notice) |
Deduction for failed notifications |
5.2 Scorecard Rating
| Total Score |
Rating |
Action |
| 90–100% |
A (Preferred) |
Continued preferred status; consider extended contracts |
| 75–89% |
B (Approved) |
Meets expectations; standard monitoring |
| 60–74% |
C (Conditional) |
Improvement plan required; 60-day review |
| < 60% |
D (At Risk) |
Probation; new orders suspended; alternative supplier sourcing initiated |
5.3 Scorecard Review Schedule
- High-risk suppliers: Quarterly review (Procurement + QA).
- Medium-risk suppliers: Semi-annual review.
- Low-risk suppliers: Annual review.
- At-risk (D-rated): Monthly review until rating improves to ≥ C.
| Severity |
Definition |
Examples |
Response Time |
Action |
| Critical |
Immediate food safety risk; renders product unsafe or unfit |
Pathogen detection, undeclared allergen, foreign material contamination |
< 4 hours |
Stop all deliveries; quarantine affected stock; reject/reclassify/destroy; RCA within 5 days |
| Major |
Significant deviation from specification but no immediate safety risk |
Incorrect certificate of analysis, microbiological level above limit but non-pathogenic, temperature abuse |
< 24 hours |
Accept on deviation (QA decision) or reject; supplier CAPA within 14 days |
| Minor |
Minor deviation from specification with low risk |
Packaging damage, minor labelling discrepancy, slight variation in particle size |
< 5 working days |
Document; supplier to respond within 10 working days |
Non-Conformance Identified (Receiving QA or In-Process)
│
├── 1. Document on Supplier Non-Conformance Report (SNCR) — FS-SUP-F03
├── 2. Classify severity (Critical / Major / Minor)
├── 3. Immediate action (hold, reject, accept on deviation)
├── 4. Notify supplier (phone + formal SNCR)
├── 5. Supplier root cause investigation and CAPA response
├── 6. Review CAPA adequacy (QA + Procurement)
├── 7. Close SNCR or escalate
└── 8. Update supplier KPI scorecard
- 3 minor NCs in 12 months: Automatic escalation to Major.
- 2 major NCs in 12 months: Escalation to Critical → probation.
- 1 critical NC: Immediate suspension from ASL; re-instatement only after full re-audit at supplier's cost.
7. Approved Supplier List (ASL) Maintenance
The ASL is maintained electronically in the ERP system and as a controlled PDF in the QA shared drive. A current hard copy is posted in the Receiving Bay.
7.2 ASL Data Fields
| Field |
Description |
| Supplier ID |
Unique identifier (SUP-001 to SUP-9999) |
| Company name |
Full legal name |
| Address |
Registered and/or manufacturing address |
| Contact person |
QA or sales contact |
| Materials supplied |
Generic material categories |
| Risk category |
High / Medium / Low (per Section 2) |
| Approval date |
Date added to ASL |
| Last audit date |
Date of most recent supplier audit |
| Next audit due |
Date of next scheduled audit |
| Current KPI rating |
A / B / C / D (per Section 5) |
| Status |
Active / Suspended / Expired / Revoked |
7.3 ASL Review Schedule
- Monthly: New additions, suspensions, reactivations reviewed by QA Manager.
- Quarterly: Full ASL review by Food Safety Team (expired certificates, overdue audits, rating changes).
- Annual: Complete ASL refresh: remove inactive suppliers, re-evaluate risk categorisation.
7.4 Suspension & Removal
A supplier is suspended or removed from the ASL for:
1. Failure to maintain food safety certification (lapsed > 30 days).
2. Critical non-conformance (Section 6).
3. D rating on KPI scorecard for > 2 consecutive quarters.
4. No orders placed for > 24 months (auto-archive).
5. Supplier request (ceasing production / closure).
7.5 Reinstatement
A suspended supplier must:
- Complete a new supplier questionnaire.
- Provide evidence of corrective actions.
- Undergo a re-audit (on-site for high-risk, remote for medium/low).
- Be approved by QA Manager and Procurement Manager.
Appendices
- Appendix A: Initial Supplier Questionnaire (FS-SUP-F01)
- Appendix B: Supplier Audit Report Template (FS-SUP-F02)
- Appendix C: Supplier Non-Conformance Report (SNCR) — FS-SUP-F03
- Appendix D: Change Notification Agreement Template
- Appendix E: Approved Supplier List — Sample Extract
End of Document — FS-SUP-001